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Results: 1-10 of 61

Financial Regulatory Developments 21 February - Wealth Management Association (WMA)
  • Dentons
  • Global
  • February 21 2014

WMA has published a paper reminding of the difficulties that the provision of a Key Investor Document (KID) would cause in the on-exchange secondary


Financial Regulatory Developments 19 June - International Organisation of Securities Commissions (IOSCO)
  • Dentons
  • Global
  • June 19 2015

IOSCO has published a report titled "Credible Deterrence", which identifies key enforcement factors that may deter misconduct in international


ICMA presents private wealth management charter of quality
  • Dentons
  • Global
  • December 7 2012

Several ICMA members have adhered to a charter comprising common standards of quality, compliance and good market practice


Wolfsberg updates anti-corruption guidance
  • Dentons
  • Global
  • August 25 2011

The Wolfsberg Group has published an updated and expanded version of its 2007 guidance on prevention of corruption


IIF calls for regulatory consistency
  • Dentons
  • Global
  • June 7 2013

IIF has published a report with recommendations to promote a greater international regulatory consistency. Among other recommendations related to


Third-country AIFMs: ESMA says slow down
  • Dentons
  • European Union, Global
  • August 3 2015

The Alternative Investment Fund Managers Directive (AIFMD) required ESMA to review, by July 2015, how the arrangements under AIFMD for marketing AIFs


IOSCO updates on FSB-related work
  • Dentons
  • Global
  • November 22 2013

IOSCO has written to the Financial Stability Board outlining its current work in relation to: cybercrime in securities markets; long-term


FSB publishes global securities financing standards and processes
  • Dentons
  • Global
  • November 20 2015

FSB has published its report on standards and processes for global securities financing data collection and aggregation. FSB highlighted the


Financial Regulatory Developments 28 February - International Organisation of Securities Commissions (IOSCO)
  • Dentons
  • Global
  • February 28 2014

The Board of IOSCO has held a meeting in Kuala Lumpur, Malaysia, where it focused on growth and emerging markets, announcing the preparation of a


Financial Regulatory Developments 31 January - Financial Stability Board (FSB)
  • Dentons
  • Global
  • January 31 2014

FSB has updated its handbook for peer reviews, which explains the purpose and process for thematic and country reviews. (Source: FSB Updates Peer